Dark
Light
System
Security
CAPITAL SOUTHWEST CORP COM
CAPITAL SOUTHWEST CORP COM. Institutional holdings reported to the SEC.

Institutional Holders (2016Q3)
Portfolio Summary: 47 Institutional holders with a total value of $148,676,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Moab Capital Partners LLC 1,660,113 24,404,000 16.41%
2 PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC. 1,610,202 23,670,000 15.92%
3 Zuckerman Investment Group, LLC 1,321,381 19,424,000 13.06%
4 River Road Asset Management, LLC 946,249 13,910,000 9.36%
5 ARIEL INVESTMENTS, LLC 847,268 12,455,000 8.38%
6 FIRST MANHATTAN CO. LLC. 842,086 12,378,000 8.33%
7 Evercore Trust Company, N.A. 781,003 11,481,000 7.72%
8 Clover Partners, L.P. 661,058 9,718,000 6.54%
9 UBS Group AG 286,961 4,218,000 2.84%
10 THIRD AVENUE MANAGEMENT LLC 150,348 2,210,000 1.49%
11 EMERALD ACQUISITION LTD. 134,021 1,970,000 1.33%
12 GRACE & WHITE INC /NY 132,528 1,948,000 1.31%
13 AMERIPRISE FINANCIAL INC 111,251 1,636,000 1.10%
14 KAYNE ANDERSON CAPITAL ADVISORS LP 85,000 1,248,000 0.84%
15 MORGAN STANLEY 61,385 903,000 0.61%
16 NEW YORK STATE COMMON RETIREMENT FUND 60,600 891,000 0.60%
17 BlackRock Group LTD 52,201 767,000 0.52%
18 SILVER CAPITAL MANAGEMENT LLC 46,658 686,000 0.46%
19 WHITTIER TRUST CO 32,000 470,000 0.32%
20 Cambridge Investment Research Advisors, Inc. 30,094 442,000 0.30%
21 D. E. Shaw & Co., Inc. 27,370 402,000 0.27%
22 Cove Street Capital, LLC 25,910 381,000 0.26%
23 Blue Clay Capital Management, LLC 19,684 289,000 0.19%
24 Horizon Kinetics LLC 17,700 260,000 0.17%
25 WEDBUSH SECURITIES INC 17,052 251,000 0.17%
26 GSA CAPITAL PARTNERS LLP 16,239 239,000 0.16%
27 PRUDENTIAL FINANCIAL INC 16,100 236,000 0.16%
28 TWO SIGMA INVESTMENTS, LP 15,802 232,000 0.16%
29 BROWN ADVISORY INC 14,648 215,000 0.14%
30 Steinberg Global Asset Management 14,420 212,000 0.14%
31 LADENBURG THALMANN FINANCIAL SERVICES INC. 10,900 160,000 0.11%
32 SEGALL BRYANT & HAMILL, LLC 10,664 157,000 0.11%
33 GEODE CAPITAL MANAGEMENT, LLC 10,496 154,000 0.10%
34 TUDOR INVESTMENT CORP ET AL 10,252 151,000 0.10%
35 JPMORGAN CHASE & CO 8,874 130,000 0.09%
36 BANK OF AMERICA CORP /DE/ 8,000 118,000 0.08%
37 CITIGROUP INC 7,939 117,000 0.08%
38 BALDWIN WEALTH PARTNERS LLC/MA 3,360 49,000 0.03%
39 Nationwide Fund Advisors 2,500 37,000 0.02%
40 Tower Research Capital LLC (TRC) 1,539 23,000 0.02%
41 TCI Wealth Advisors, Inc. 815 12,000 0.01%
42 OLD SECOND NATIONAL BANK OF AURORA 500 7,000 0.00%
43 CUTLER GROUP LLC / CA 500 7,000 0.00%
44 PANAGORA ASSET MANAGEMENT INC 277 4,000 0.00%
45 MSI Financial Services Inc 184 3,000 0.00%
46 MANUFACTURERS LIFE INSURANCE COMPANY, THE 94 1,000 0.00%
47 WELLS FARGO & COMPANY/MN 0 0 0.00%

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.